BNY XBK (UK) Limited

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Investment Setup

For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

Senior staff personally approved by the FCA to hold their roles here.

Daron Pearce
IRN DXP01613
- CF1 Director (22 Jun 2009 to 5 Apr 2011)
David Ernest Leonard England
IRN DEE01006
- CF2 Non Executive Director (2 May 2009 to 8 Dec 2019)
- CF3 Chief Executive (24 May 2002 to 1 May 2009)
- CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
- CF1 Director (1 Dec 2001 to 1 May 2009)
Donald Edward Gould
IRN DEG01054
- CF1 Director (25 Feb 2009 to 11 Aug 2009)
Douglas William Compson
IRN DWC01062
- CF13 Finance (1 Dec 2001 to 21 Dec 2001)
Fran Carluccia
IRN FXC01084
- CF15 Internal Audit (1 Dec 2001 to 11 Jun 2002)
Gavin Dexter Coles
IRN GDC01056
- CF11 Money Laundering Reporting (15 Oct 2002 to 9 Jul 2004)
Geoffrey Griggs
IRN GXG01091
- CF21 Investment Adviser (1 Dec 2001 to 13 Jun 2003)
Gordon Alan Lindsay
IRN GAL01042
- CF1 Director (1 Dec 2001 to 31 Dec 2001)
Graham John Cohen
IRN GJC01162
- SMF9 Chair of the Governing Body (since 15 Jul 2024)
Grant George Alexander Chambers
IRN GGC01030
- CF3 Chief Executive (14 Sep 2012 to 18 Apr 2018)
- CF10a CASS Oversight function (1 Feb 2012 to 8 Aug 2012)
- CF1 Director (28 Mar 2011 to 18 Apr 2018)

Updates to this firm's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.